Page 27 - 期货和衍生品行业监管动态（2022年6月）

期货和衍生品行业监管动态

CFTC 提示，同意和解令要求偿还受害人的资金可能无法弥补所有的损失，

因为违法者没有足够的资金或资产。CFTC 将继续坚决为投资者保护做出努力并

追究违法者的责任。

7. Federal Court Orders California Man to Pay Over $600,000 for Commodity

Pool Fraud

Defendant is an Associated Person of a Commodity Pool Operator (2022/6/15)

The Commodity Futures Trading Commission today announced that the U.S.

District Court for the Central District of California entered a consent order on June 7

for a permanent injunction, monetary sanctions, and equitable relief against Daniel

Hewko of Fort Bragg, California.

The consent order resolves the CFTC’s claims against Hewko in the CFTC

action filed against him, his son, Daniel Adam Hewko, and Main & Prospect Capital,
LLC, on November 13, 2019 alleging, among other things, fraud, misappropriation of

investor funds, and failing to register with the CFTC as an Associated Person of a

Commodity Pool Operator. The CFTC action against Daniel Adam Hewko and Main

& Prospect Capital, LLC is ongoing.

The order requires Hewko to pay $500,000 in restitution to victims of the

fraudulent scheme and to pay a $107,500 civil monetary penalty. The order also

permanently prohibits Hewko from further violations of the Commodity Exchange

Act (CEA) and CFTC regulations, as charged, and imposes a permanent registration

ban and a 10-year trading ban.

Case Background

The order finds that since at least August 2014, Hewko solicited funds from

investors for a pooled investment vehicle marketed to prospective investors as the
Global Opportunity Fund (Fund). Hewko transferred more than $1.1 million in

investor funds into a futures trading account which was used to trade a limited amount

of futures contracts including crude oil and E-mini S&P 500 futures contracts, both of

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